UNCITRAL ARBITRATION RULES (1976) (ADOPTED BY THE GENERAL ASSEMBLY ON DECEMBER
15, 1976)
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The General Assembly,
Recognising the value of arbitration as a method of settling disputes arising
in the context of international commercial relations,
Being convinced that the establishment of rules for ad hoc arbitration that are
acceptable in countries with different legal, social and economic systems would
significantly contribute to the development of harmonious international
economic relations,
Bearing in mind that the Arbitration Rules of the United Nations Commission on
International Trade Law have been prepared after extensive consultation with
arbitral institutions and centres of international commercial arbitration,
Noting that the Arbitration Rules were adopted by the United Nations Commission
on International Trade Law at its ninth session after due deliberation,
1. Recommends the use of the Arbitration Rules of the United Nations Commission
on International Trade Law in the settlement of disputes arising in the context
of international commercial relations, particularly by reference to the
Arbitration Rules in commercial contracts;
2. Requests the Secretary-General to arrange for the widest possible
distribution of the Arbitration Rules.
SECTION 1 - INTRODUCTORY RULES
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ARTICLE 1 - SCOPE OF APPLICATION
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1. Where the parties to a contract have agreed in writing that disputes in
relation to that contract shall be referred to arbitration under the UNCITRAL
Arbitration Rules, then such disputes shall be settled in accordance with these
Rules subject to such modification as the parties may agree in writing.
2. These Rules shall govern the arbitration except that where any of these
Rules is in conflict with a provision of the law applicable to the arbitration
from which the parties cannot derogate, that provision shall prevail.
ARTICLE 2 - NOTICE, CALCULATION PERIODS OF TIME
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1. For the purposes of these Rules, any notice, including a notification,
communication or proposal, is deemed to have been received if it is physically
delivered to the addressee or if it is delivered at his habitual residence,
place of business or mailing address, or, if none of these can be found after
making reasonable inquiry, then at the addressee's last-known residence or
place of business. Notice shall be deemed to have been received on the day it
is so delivered.
2. For the purposes of calculating a period of time under these Rules, such
period shall begin to run on the day following the day when a notice,
notification, communication or proposal is received. If the last day of such
period is an official holiday or a non-business day at the residence or place
of business of the addressee, the period is extended until the first business
day which follows. Official holidays or non-business days occurring during the
running of the period of time are included in calculating the period.
ARTICLE 3 - NOTICE OF ARBITRATION
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1. The party initiating recourse to arbitration (hereinafter called the
"claimant") shall give to the other party (hereinafter called the "respondent")
a notice of arbitration.
2. Arbitral proceedings shall be deemed to commence on the date on which the
notice of arbitration is received by the respondent.
3. The notice of arbitration shall include the following:
(a) A demand that the dispute be referred to arbitration;
(b) The names and addresses of the parties;
(c) A reference to the arbitration clause or the separate arbitration agreement
that is invoked;
(d) A reference to the contract out of or in relation to which the dispute
arises;
(e) The general nature of the claim and an indication of the amount involved,
if any;
(f) The relief or remedy sought;
(g) A proposal as to the number of arbitrators (ie. one or three), if parties
have not previously agreed thereon.
4. The notice of arbitration may also include:
(a) The proposals for the appointments of a sole arbitrator and an appointing
authority referred to in article 6, paragraph 1;
(b) The notification of the appointment of an arbitrator referred to in article
7;
(c) The statement of claim referred to in article 18.
ARTICLE 4 - REPRESENTATION AND ASSISTANCE
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The parties may be represented or assisted by persons of their choice. The
names and addresses of such persons must be communicated in writing to the
other party; such communication must specify whether the appointment is being
made for purposes of representation or assistance.
SECTION II - COMPOSITION OF THE ARBITRAL TRIBUNAL
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ARTICLE 5 - NUMBER OF ARBITRATORS
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If the parties have not previously agreed on the number of arbitrators (ie. one
or three), and if within fifteen days after the receipt by the respondent of
the notice of arbitration the parties have not agreed that there shall be only
one arbitrator, three arbitrators shall be appointed.
ARTICLES (6 TO 8) - APPOINTMENT OF ARBITRATORS
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ARTICLE 6
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1. If a sole arbitrator is to be appointed, either party may propose to the
other:
(a) The names of one or more persons, one of whom should serve as the sole
arbitrator; and
(b) If no appointing authority has been agreed upon by the parties, the name or
names of one or more institutions or persons, one of whom would serve as
appointing authority.
2. If within thirty days after receipt by a party of a proposal made in
accordance with paragraph 1 the parties have not reached agreement on the
choice of a sole arbitrator, the sole arbitrator shall be appointed by the
appointing authority agreed upon by the parties. If no appointing authority has
been agreed upon by the parties, or if the appointing authority agreed upon
refuses to act or fails to appoint the arbitrator within sixty days of the
receipt of a party's request therefor, either party may request the
Secretary-General of the Permanent Court of Arbitration at The Hague to
designate an appointing authority.
3. The appointing authority shall, at the request of one of the parties,
appoint the sole arbitrator as promptly as possible. In making the appointment
the appointing authority shall use the following list-procedure, unless both
parties agree that the list-procedure should not be used or unless the
appointing authority determines in its discretion that the use of the
list-procedure is not appropriate for the case:
(a) At the request of one of the parties the appointing authority shall
communicate to both parties an identical list containing at least three names;
(b) Within fifteen days after the receipt of this list, each party may return
the list to the appointing authority after having deleted the name or names to
which he objects and numbered the remaining names on the list in the order of
his preference;
(c) After the expiration of the above period of time the appointing authority
shall appoint the sole arbitrator from among the names approved on the lists
returned to it and in accordance with the order of preference indicated by the
parties;
(d) If for any reason the appointment cannot be made according to this
procedure, the appointing authority may exercise its discretion in appointing
the sole arbitrator.
4. In making the appointment, the appointing authority shall have regard to
such considerations as are likely to secure the appointment of an independent
and impartial arbitrator and shall take into account as well the advisability
of appointing an arbitrator of a nationality other than the nationalities of
the parties.
ARTICLE 7
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1. If three arbitrators are to be appointed, each party shall appoint one
arbitrator. The two arbitrators thus appointed shall choose the third
arbitrator who will act as the presiding arbitrator of the tribunal.
2. If within thirty days after the receipt of a party's notification of the
appointment of an arbitrator the other party has not notified the first party
of the arbitrator he has appointed:
(a) The first party may request the appointing authority previously designated
by the parties to appoint the second arbitrator; or
(b) If no such authority has been previously designated by the parties, or if
the appointing authority previously designated refuses to act or fails to
appoint the arbitrator within thirty days after receipt of a party's request
therefor, the first party may request the Secretary-General of the Permanent
Court of Arbitration at the Hague to designate the appointing authority. The
first party may then request the appointing authority so designated to appoint
the second arbitrator. In either case, the appointing authority may exercise
its discretion in appointing the arbitrator.
3. If within thirty days after the appointment of the second arbitrator the two
arbitrators have not agreed on the choice of the presiding arbitrator, the
presiding arbitrator shall be appointed by an appointing authority in the same
way as a sole arbitrator would be appointed under article 6.
ARTICLE 8
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1. When an appointing authority is requested to appoint an arbitrator pursuant
to article 6 or article 7, the party which makes the request shall send to the
appointing authority a copy of the notice of arbitration, a copy of the
contract out of or in relation to which the dispute has arisen and a copy of
the arbitration agreement if it is not contained in the contract. The
appointing authority may require from either party such information as it deems
necessary to fulfil its function.
2. Where the names of one or more persons are proposed for appointment as
arbitrators, their full names, addresses and nationalities shall be indicated,
together with a description of their qualifications.
ARTICLES (9 TO 12) - CHALLENGES OF ARBITRATORS
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ARTICLE 9
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A prospective arbitrator shall disclose to those who approach him in connection
with his possible appointment any circumstances likely to give rise to
justifiable doubts as to his impartiality or independence. An arbitrator, once
appointed or chosen, shall disclose such circumstances to the parties unless
they have already been informed by him of these circumstances.
ARTICLE 10
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1. Any arbitrator may be challenged if circumstances exist that give rise to
justifiable doubts as to the arbitrator's impartiality or independence.
2. A party may challenge the arbitrator appointed by him only for reasons of
which he becomes aware after the appointment has been made.
ARTICLE 11
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1. A party who intends to challenge an arbitrator shall send notice of his
challenge within fifteen days after the appointment of the challenged
arbitrator has been notified to the challenging party or within fifteen days
after the circumstances mentioned in articles 9 and 10 became known to that
party.
2. The challenge shall be notified to the other party, to the arbitrator who is
challenged and to the other members of the arbitral tribunal. The notification
shall be in writing and shall state the reasons for the challenge.
3. When an arbitrator has been challenged by one party, the other party may
agree to the challenge. In both cases the procedure provided in article 6 or 7
shall be used in full for the appointment of the substitute arbitrator, even if
during the process of appointing the challenged arbitrator a party had failed
to exercise his right to appoint or to participate in the appointment.
ARTICLE 12
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1. If the other party does not agree to the challenge and the challenged
arbitrator does not withdraw, the decision on the challenge will be made:
(a) When the initial appointment was made by an appointing authority, by that
authority;
(b) When the initial appointment was not made by an appointing authority, but
an appointing authority has been previously designated, by that authority;
(c) In all other cases, by the appointing authority to be designated in
accordance with the procedure for designating an appointing authority provided
for in article 6.
2. If the appointing authority sustains the challenge, a substitute arbitrator
shall be appointed or chosen pursuant to the procedure applicable to the
appointment or choice of an arbitrator as provided in articles 6 to 9 except
that, when this procedure would call for the designation of an appointing
authority, the appointment of the arbitrator shall be made by the appointing
authority which decided on the challenge.
ARTICLE 13 - REPLACEMENT OF AN ARBITRATOR
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1. In the event of death or resignation of an arbitrator during the course of
the arbitral proceedings, a substitute arbitrator shall be appointed or chosen
pursuant to the procedure provided for in articles 6 to 9 that was applicable
to the appointment or choice of the arbitrator being replaced.
2. In the event that an arbitrator fails to act or in the event of the de jure
or de facto impossibility of his performing his functions, the procedure in
respect of the challenge and replacement of an arbitrator as provided in the
preceding articles shall apply.
ARTICLE 14 - REPETITION OF HEARINGS IN THE EVENT OF THE REPLACEMENT OF AN
ARBITRATOR
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If under articles 11 to 13 the sole or presiding arbitrator is replaced, any
hearings held previously shall be repeated; if any other arbitrator is
replaced, such prior hearings may be repeated at the discretion of the arbitral
tribunal.
SECTION III - ARBITRAL PROCEEDINGS
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ARTICLE 15 - GENERAL PROVISIONS
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1. Subject to these Rules, the arbitral tribunal may conduct the arbitration in
such manner as it considers appropriate, provided the parties are treated with
equality and that at any stage of the proceedings each party is given a full
opportunity of presenting his case.
2. If either party so requests at any stage of the proceedings, the arbitral
tribunal shall hold hearings for the presentation of evidence by witnesses,
including expert witnesses, or for oral argument. In the absence of such a
request, the arbitral tribunal shall decide whether to hold such hearings or
whether the proceedings shall be conducted on the basis of documents and other
materials.
3. All documents or information supplied to the arbitral tribunal by one party
shall at the same time be communicated by that party to the other party.
ARTICLE 16 - PLACE OF ARBITRATION
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1. Unless the parties have agreed upon the place where the arbitration is to be
held, such place shall be determined by the arbitral tribunal, having regard to
the circumstances of the arbitration.
2. The arbitral tribunal may determine the locale of the arbitration within the
country agreed by the parties. It may hear witnesses and hold meetings for
consultation among its members at any place it deems appropriate, having regard
to the circumstances of the arbitration.
3. The arbitral tribunal may meet at any place it deems appropriate for the
inspection of goods, other property or documents. The parties shall be given
sufficient notice to enable them to be present at such inspection.
4. The award shall be made at the place of arbitration.
ARTICLE 17 - LANGUAGE
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1. Subject to an agreement by the parties, the arbitral tribunal shall,
promptly after its appointment, determine the language or languages to be used
in the proceedings. This determination shall apply to the statement of claim,
the statement of defence, and any further written statements and, if oral
hearings take place, to the language or languages to be used in such hearings.
ARTICLE 18 - STATEMENT OF CLAIM
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1. Unless the statement of claim was contained in the notice of arbitration,
within a period of time to be determined by the arbitral tribunal, the claimant
shall communicate his statement of claim in writing to the respondent and to
each of the arbitrators. A copy of the contract, and of the arbitration
agreement if not contained in the contract, shall be annexed thereto.
2. The statement of claim shall include the following particulars:
(a) The names and addresses of the parties;
(b) A statement of the facts supporting the claim;
(c) The points at issue;
(d) The relief or remedy sought.
The claimant may annex to his statement of claim all documents he deems
relevant or may add a reference to the documents or other evidence he will
submit.
ARTICLE 19 - STATEMENT OF DEFENCE
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1. Within a period of time to be determined by the arbitral tribunal, the
respondent shall communicate his statement of defence in writing to the
claimant and to each of the arbitrators.
2. The statement of defence shall reply to the particulars (b), (c) and (d) of
the statement of claim (article 18, para. 2). The respondent may annex to his
statement the documents on which he relies for his defence or may add a
reference to the documents or other evidence he will submit.
3. In his statement of defence, or at a later stage in the arbitral proceedings
if the arbitral tribunal decides that the delay was justified under the
circumstances, the respondent may make a counter-claim arising out of the same
contract or rely on a claim arising out of the same contract for the purpose of
a set-off.
4. The provisions of article 18, paragraph 2, shall apply to a counter-claim
and a claim relied on for the purpose of a set-off.
ARTICLE 20 - AMENDMENTS TO THE CLAIM OR DEFENCE
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During the course of the arbitral proceedings either party may amend or
supplement his claim or defence unless the arbitral tribunal considers it
inappropriate to allow such amendment having regard to the delay in making it
or prejudice to the other party or any other circumstances. However, a claim
may not be amended in such a manner that the amended claim falls outside the
scope of the arbitration clause or separate arbitration agreement.
ARTICLE 21 - PLEAS AS TO THE JURISDICTION OF THE ARBITRAL TRIBUNAL
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1. The arbitral tribunal shall have the power to rule on objections that it has
no jurisdiction, including any objections with respect to the existence or
validity of the arbitration clause or of the separate arbitration agreement.
2. The arbitral tribunal shall have the power to determine the existence or the
validity of the contract of which an arbitration clause forms a part. For the
purposes of article 21, an arbitration clause which forms part of a contract
and which provides for arbitration under these Rules shall be treated as an
agreement independent of the other terms of the contract. A decision by the
arbitral tribunal that the contract is null and void shall not entail ipso jure
the invalidity of the arbitration clause.
3. A plea that the arbitral tribunal does not have jurisdiction shall be raised
not later than in the statement of defence or, with respect to a counter-claim,
in the reply to the counter-claim.
4. In general, the arbitral tribunal should rule on a plea concerning its
jurisdiction as a preliminary question. However, the arbitral tribunal may
proceed with the arbitration and rule on such a plea in their final award.
ARTICLE 22 - FURTHER WRITTEN STATEMENTS
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The arbitral tribunal shall decide which further written statements, in
addition to the statement of claim and the statement of defence, shall be
required from the parties or may be presented by them and shall fix the periods
of time for communicating such statements.
ARTICLE 23 - PERIODS OF TIME
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The periods of time fixed by the arbitral tribunal for the communication of
written statements (including the statement of claim and statements of defence)
should not exceed forty-five days. However, the arbitral tribunal may extend
the time-limits if it concludes that an extension is justified.
ARTICLES (24 AND 25) - EVIDENCE AND HEARINGS
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ARTICLE 24
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1. Each party shall have the burden of proving the facts relied on to support
his claim or defence.
2. The arbitral tribunal may, if it considers it appropriate, require a party
to deliver to the tribunal and to the other party, within such a period of time
as the arbitral tribunal shall decide, a summary of the documents and other
evidence which that party intends to present in support of the facts in issue
set out in his statement of claim or statement of defence.
3. At any time during the arbitral proceedings the arbitral tribunal may
require the parties to produce documents, exhibits or other evidence within
such a period of time as the tribunal shall determine.
ARTICLE 25
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1. In the event of an oral hearing, the arbitral tribunal shall give the
parties adequate advance notice of the date, time and place thereof.
2. If witnesses are to be heard, at least fifteen days before the hearing each
party shall communicate to the arbitral tribunal and to the other party the
names and addresses of the witnesses he intends to present, the subject upon
and the languages in which such witnesses will give their testimony.
3. The arbitral tribunal shall make arrangements for the translation of oral
statements made at a hearing and for a record of the hearing if either is
deemed necessary by the tribunal under the circumstances of the case, or if the
parties have agreed thereto and have communicated such agreement to the
tribunal at least fifteen days before the hearing.
4. Hearings shall be held in camera unless the parties agree otherwise. The
arbitral tribunal may require the retirement of any witness or witnesses during
the testimony of other witnesses. The arbitral tribunal is free to determine
the manner in which witnesses are examined.
5. Evidence of witnesses may also be presented in the form of written
statements signed by them.
6. The arbitral tribunal shall determine the admissibility, relevance,
materiality and weight of the evidence offered.
ARTICLE 26 - INTERIM MEASURES OF PROTECTION
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1. At the request of either party, the arbitral tribunal may take any interim
measures it deems necessary in respect of the subject-matter of the dispute,
including measures for the conservation of the goods forming the subject-matter
in dispute, such as ordering their deposit with a third person or the sale of
perishable goods.
2. Such interim measures may be established in the form of an interim award.
The arbitral tribunal shall be entitled to require security for the costs of
such measures.
3. A request for interim measures addressed by any party to a judicial
authority shall not be deemed incompatible with the agreement to arbitrate, or
as a waiver of that agreement.
ARTICLE 27 - EXPERTS
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1. The arbitral tribunal may appoint one or more experts to report to it, in
writing, on specific issues to be determined by the tribunal. A copy of the
expert's terms of reference, established by the arbitral tribunal, shall be
communicated to the parties.
2. The parties shall give the expert any relevant information or produce for
inspection any relevant documents or goods that he may require of them. Any
dispute between a party and such expert as to the relevance of the required
information or production shall be referred to the arbitral tribunal for
decision.
3. Upon receipt of the expert's report, the tribunal shall communicate a copy
of the report to the parties who shall be given the opportunity to express, in
writing, their opinion of the report. A party shall be entitled to examine any
document on which the expert has relied in his report.
4. At the request of either party the expert, after delivery of the report, may
be heard at a hearing where the parties hall have the opportunity to be present
and to interrogate the expert. At this hearing either party may present expert
witnesses in order to testify on the points at issue. The provisions of article
25 shall be applicable to such proceedings.
ARTICLE 28 - DEFAULT
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1. If, within the period of time fixed by the arbitral tribunal, the claimant
has failed to communicate his claim without showing sufficient cause for such
failure, the arbitral tribunal shall order the proceedings to continue.
2. If one of the parties, duly notified under these Rules, fails to appear at a
hearing, without showing sufficient cause for such failure, the arbitral
tribunal may proceed with the arbitration.
3. If one of the parties, duly invited to produce documentary evidence, fails
to do so within the established period of time, without showing sufficient
cause for such failure, the arbitral tribunal may make the award on the
evidence before it.
ARTICLE 29 - CLOSURE OF HEARINGS
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1. The arbitral tribunal may inquire of the parties if they have any further
proof to offer or witnesses to be heard or submissions to make and, if there
are none, if may declare the hearings closed.
2. The arbitral tribunal may, if it considers it necessary owing to exceptional
circumstances, decide, on its own motion or upon application of a party, to
reopen the hearings at any time before the award is made.
ARTICLE 30
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A party who knows that any provision of, or requirement under, these Rules has
not been complied with and yet proceeds with the arbitration without promptly
stating his objection to such non-compliance, shall be deemed to have waived
his right to object.
SECTION IV - THE AWARD
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ARTICLE 31 - DECISIONS
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1. When there are three arbitrators, any award or other decision of the
arbitral tribunal shall be made by a majority of the arbitrators.
2. In the case of questions of procedure, when there is no majority or when the
arbitral tribunal so authorises, the presiding arbitrator may decide on his
own, subject to revision, if any, by the arbitral tribunal.
ARTICLE 32 - FORM AND EFFECT OF THE AWARD
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1. In addition to making a final award, the arbitral tribunal shall be entitled
to make interim, interlocutory, or partial awards.
2. The award shall be made in writing and shall be final and binding on the
parties. The parties undertake to carry out the award without delay.
3. The arbitral tribunal shall state the reasons upon which the award is based,
unless the parties have agreed that no reasons are to be given.
4. An award shall be signed by the arbitrators and it shall contain the date on
which and the place where the award was made. Where there are three arbitrators
and one of them fails to sign, the award shall state the reason for absence of
the signature.
5. The award may be made public only with the consent of both parties.
6. Copies of the award signed by the arbitrators shall be communicated to the
parties by the arbitral tribunal.
7. If the arbitration law of the country where the award is made requires that
the award by filed or registered by the arbitral tribunal, the tribunal shall
comply with this requirement within the period of time required by law.
ARTICLE 33 - APPLICABLE LAW, AMIABLE COMPOSITEUR
------------------------------------------------
1. The arbitral tribunal shall apply the law designated by the parties as
applicable to the substance of the dispute. Failing such designation by the
parties, the arbitral tribunal shall apply the law determined by the conflict
of laws rules which it considers applicable.
2. The arbitral tribunal shall decide as amiable compositeur or ex aequo et
bono only if the parties have expressly authorised the arbitral tribunal to do
so and if the law applicable to the arbitral procedure permits such
arbitration.
3. In all cases, the arbitral tribunal shall decide in accordance with the
terms of the contract and shall take into account the usages of the trade
applicable to the transaction.
ARTICLE 34
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1. If, before the award is made, the parties agree on a settlement of the
dispute, the arbitral tribunal shall either issue an order for the termination
of the arbitral proceedings or, if requested by both parties and accepted by
the tribunal, record the settlement in the form of an arbitral award on agreed
terms. The arbitral tribunal is not obliged to give reasons for such an award.
2. If, before the award is made, the continuation of the arbitral proceedings
becomes unnecessary or impossible for any reason not mentioned in paragraph 1,
the arbitral tribunal shall inform the parties of its intention to issue an
order for the termination of the proceedings. The arbitral tribunal shall have
the power to issue such an order unless a party raises justifiable grounds for
objection.
3. Copies of the order for termination of the arbitral proceedings or of the
arbitral award on agreed terms, signed by the arbitrators, shall be
communicated by the arbitral tribunal to the parties. Where an arbitral award
on agreed terms is made, the provisions of article 32, paragraphs 2 and 4 to 7,
shall apply.
ARTICLE 35 - INTERPRETATION OF THE AWARD
----------------------------------------
1. Within thirty days after the receipt of the award, either party, with notice
to the other party, may request that the arbitral tribunal give an
interpretation of the award.
2. The interpretation shall be given in writing within forty-five days after
the receipt of the request. The interpretation shall form part of the award and
the provisions of article 32, paragraphs 2 to 7, shall apply.
ARTICLE 36 - CORRECTION OF THE AWARD
------------------------------------
1. Within thirty days after the receipt of the award, either party, with notice
to the other party, may request the arbitral tribunal to correct in the award
any errors in computation, any clerical or typographical errors, or any errors
of similar nature. The arbitral tribunal may within thirty days after the
communication of the award make such corrections on its own initiative.
2. Such corrections shall be in writing, and the provisions of article 32,
paragraphs 2 to 7, shall apply.
ARTICLE 37 - ADDITIONAL AWARD
-----------------------------
1. Within thirty days after the receipt of the award, either party, with notice
to the other party, may request the arbitral tribunal to make an additional
award as to claims presented in the arbitral proceedings but omitted from the
award.
2. If the arbitral tribunal considers the request for an additional award to be
justified and considers that the omission can be rectified without any further
hearings or evidence, it shall complete its award within sixty days after the
receipt of the request.
3. When an additional award is made, the provisions of article 32 paragraphs 2
to 7, shall apply.
ARTICLES (38 TO 40) - COST
==========================
ARTICLE 38
----------
The arbitral tribunal shall fix the costs of arbitration in its award. The term
"costs" includes only:
(a) The fees of the arbitral tribunal to be stated separately as to each
arbitrator and to be fixed by the tribunal itself in accordance with article
39;
(b) The travel and other expenses incurred by the arbitrators;
(c) The costs of expert advice and of other assistance required by the arbitral
tribunal;
(d) The travel and other expenses of witnesses to the extent such expenses are
approved by the arbitral tribunal;
(e) The costs for legal representation and assistance of the successful party
if such costs were claimed during the arbitral proceedings, and only to the
extent that the arbitral tribunal determines that the amount of such costs is
reasonable;
(f) Any fees and expenses of the appointing authority as well as the expenses
of the Secretary-General of the Permanent Court of Arbitration at The Hague.
ARTICLE 39
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1. The fees of the arbitral tribunal shall be reasonable in amount, taking into
account the amount in dispute, the complexity of the subject-matter, the time
spent by the arbitrators and any other relevant circumstances of the case.
2. If an appointing authority has been agreed upon by the parties or designated
by the Secretary-General of the Permanent Court of Arbitration at The Hague,
and if that authority has issued a schedule of fees for arbitrators in
international cases which it administers, the arbitral tribunal in fixing its
fees shall take that schedule of fees into account to the extent that it
considers appropriate in the circumstances of the case.
3. If such appointing authority has not issued a schedule of fees for
arbitrators in international cases, any party may at any time request the
appointing authority to furnish a statement setting forth the basis for
establishing fees which is customarily followed in international cases in which
the authority appoints arbitrators. If the appointing authority consents to
provide such a statement, the arbitral tribunal in fixing its fees shall take
such information into account to the extent that it considers appropriate in
the circumstances of the case.
4. In cases referred to in paragraphs 2 and 3, when a party so requests and the
appointing authority consents to perform the function, the arbitral tribunal
shall fix its fees only after consultation with the appointing authority which
may make any comment it deems appropriate to the arbitral tribunal concerning
the fees.
ARTICLE 40
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1. Except as provided in paragraph 2, the costs of arbitration shall in
principle be borne by the unsuccessful party. However, the arbitral tribunal
may apportion each of such costs between the parties if it determines that
apportionment is reasonable, taking into account the circumstances of the case.
2. With respect to the costs of legal representation and assistance referred to
in article 38, paragraph (e), the arbitral tribunal, taking into account the
circumstances of the case, shall be free to determine which party shall bear
such costs or may apportion such costs between the parties if it determines
that apportionment is reasonable.
3. When the arbitral tribunal issues an order for the termination of the
arbitral proceedings or makes an award on agreed terms, it shall fix the costs
of arbitration referred to in article 38 and article 39, paragraph 1, in the
text of that order or award.
4. No additional fees may be charged by an arbitral tribunal for interpretation
or correction or completion of its award under articles 35 to 37.
ARTICLE 41 - DEPOSIT OF COSTS
-----------------------------
1. The arbitral tribunal, on its establishment, may request each party to
deposit an equal amount as an advance for the costs referred to in article 38,
paragraphs (a), (b) and (c).
2. During the course of the arbitral proceedings the arbitral tribunal may
request supplementary deposits from the parties.
3. If an appointing authority has been agreed upon by the parties or designated
by The Hague, and when a party so requests and the appointing authority
consents to perform the function, the arbitral tribunal shall fix the amounts
of any deposits or supplementary deposits only after consultation with the
appointing authority which may make any comments to the arbitral tribunal which
it deems appropriate concerning the amount of such deposits and supplementary
deposits.
4. If the required deposits are not paid in full within thirty days after the
receipt of the request, the arbitral tribunal shall so inform the parties in
order that one or another of them may make the required payment. If such
payment is not made, the arbitral tribunal may order the suspension or
termination of the arbitral proceedings.
5. After the award has been made, the arbitral tribunal shall render an
accounting to the parties of the deposits received and return any unexpended
balance to the parties.
MODEL ARBITRATION CLAUSE OR SEPARATE ARBITRATION AGREEMENT
----------------------------------------------------------
Any dispute, controversy or claim arising out of or relating to this contract,
or the breach, termination or invalidity thereof, shall be settled by
arbitration in accordance with the UNCITRAL Arbitration Rules as present in
force. Parties may wish to consider adding: (a) The appointing authority shall
be ____________ (name of institution or person); (b) The number of arbitrators
shall be ____________ (one or three); (c) The place of arbitration shall be
____________ (town or country); (d) The language(s) to be used in the arbitral
proceedings shall be ____________.
==============================================================================
Title: UNCITRAL Arbitration Rules (1976)
Creator: United Nations (UN)
Rights: Copyright (C) 1976 United Nations (UN)
Publisher: SiSU http://www.jus.uio.no/sisu (this copy)
Date: 1976
Sourcefile: un.arbitration.rules.1976.sst
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==============================================================================
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